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SEC Rule 22e-4: Meeting Compliance Standards and Managing Liquidity Risk

Apr 07, 2022

As we’ve learned from recent financial crises, unpredictable circumstances can cause the liquidity of traded financial instruments to nearly disappear. That lack of liquidity, coupled with the highly...

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Data management: The game changer for regulatory reporting

Jun 23, 2020

The coronavirus pandemic is a trigger event ushering in not only a global financial crisis, but also the inevitable regulations that will follow. After the 2008-2009 financial crisis, the financial services...

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Physics, Aircraft Carriers, and Liquidity Buckets

Apr 17, 2018

At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other...

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